2,121,151 Shares of Cumulative Callable Series A Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • December 18th, 2008 • Gabelli Global Deal Fund • New York
The Gabelli Global Deal Fund (a Delaware statutory trust) Common Shares of Beneficial Interest ($0.001 Par Value) PURCHASE AGREEMENTPurchase Agreement • January 26th, 2007 • Gabelli Global Deal Fund • New York
Merrill Lynch & Co. Merrill Lynch, Pierce, Fenner & Smith Incorporated Citigroup Global Markets Inc. A.G. Edwards & Sons, Inc. Gabelli & Company, Inc. BB&T Capital Markets, a division of Scott & Stringfellow, Inc. Robert W. Baird & Co. Incorporated Deutsche Bank Securities Inc. Ferris, Baker Watts, Incorporated J.J.B. Hilliard, W.L. Lyons, Inc. Ladenburg Thalmann & Co. Inc. Oppenheimer & Co. Inc. Raymond James & Associates, Inc. Wells Fargo Securities, LLC c/o Merrill Lynch, Pierce, Fenner & Smith Incorporated 4 World Financial Center New York, New York 10080
THE GDL FUND Exhibit 1- 77(Q)1(a) THE GDL FUND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the ____ day of February 2011, by the Trustees hereunder, and by the holders of...Agreement and Declaration of Trust • March 1st, 2011 • GDL Fund
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made as of the ____ day of February 2011, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided. WHEREAS, the Trustees desire to amend and restate the Agreement and Declaration of Trust dated as of the 3rd day of November 2006 in its entirety pursuant to its Section 7.3; WHEREAS, this Trust has been formed to carry on business as set forth more particularly hereinafter; WHEREAS, this Trust is authorized to issue an unlimited number of its shares of beneficial interest all in accordance with the provisions hereinafter set forth; WHEREAS, the Trustees have agreed to manage all property coming into their hands as Trustees of a Delaware statutory trust in accordance with the provisions hereinafter set forth; and WHEREAS, the parties hereto intend that the Trust created by its initial Agreement and Declaration of Trust, the Certificate of Trust filed with the Secretary o
Exhibit G --------- INVESTMENT ADVISORY AGREEMENT The Gabelli Global Deal Fund (the "Fund"), a statutory trust organized under the laws of the state of Delaware, and Gabelli Funds, LLC (the "Adviser") hereby agree as follows: 1. Investment...Investment Advisory Agreement • December 13th, 2006 • Gabelli Global Deal Fund • Delaware
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • December 10th, 2008 • Gabelli Global Deal Fund • Massachusetts
This Subscription Agent Agreement (the "Agreement") is made as of ___________, between The Gabelli Global Deal Fund (the "Company") and [ ], (the "Agent" or "Subscription Agent"). All terms not defined herein shall have the meaning given in the prospectus (the "Prospectus") included in the Registration Statement on Form N-2, File Nos. 333-149864 and 811-21969 filed by the Company with the Securities and Exchange Commission on August 6, 2008, as amended and supplemented by any amendment and supplement filed with respect thereto (the "Registration Statement").
SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • January 25th, 2011 • GDL Fund • Massachusetts
This Subscription Agent Agreement (the “Agreement”) is made as of January 20, 2011 by and among The GDL Fund (the “ Company”), Computershare Inc., a Delaware corporation and its fully owned subsidiary Computershare Trust Company, N.A., a national banking (collectively, the “Agent” or individually “Computershare” and the “Trust Company”, respectively). All terms not defined herein shall have the meaning given in the prospectus (the “Prospectus”) included in the (Registration Statement on Form N-2 Securities Act, File No. 333-149864 filed by the Company with the Securities and Exchange Commission on January 21, 2011, as amended by any amendment filed with respect thereto (the “Registration Statement”).
MUTUAL FUND CUSTODY AND SERVICES AGREEMENTMutual Fund Custody and Services Agreement • January 26th, 2007 • Gabelli Global Deal Fund
This AGREEMENT, effective as of the day of , 200 , and is between , (the “Fund”) [a business trust/ corporation] organized under the laws of the [Commonwealth of Massachusetts/State of Maryland] having its principal office and place of business at , and [MELLON BANK, N.A./MELLON TRUST OF NEW ENGLAND, N.A.], (the “Custodian”) a national banking association with its principal place of business at [MELLON BANK ADDRESS/MELLON TRUST ADDRESS].
Subscription Agent Agreement Between The GDL Fund and Computershare Trust Company, N.A. and Computershare Inc.Subscription Agent Agreement • February 15th, 2018 • GDL Fund • New York
THIS SUBSCRIPTION AGENT AGREEMENT (the “Agreement”) is entered into as of this 14th day of February 2018 (the “Effective Date”) by and among The GDL Fund, a company organized and existing under the laws of the State of Delaware (the “Company”), and Computershare Trust Company, N.A., a national banking association (“Trust Company”), and Computershare Inc., a Delaware corporation (“Computershare” and, collectively with Trust Company, the “Agent”).
Exhibit 77Q(1) THE GABELLI GLOBAL DEAL FUND AMENDED AND RESTATED AGREEMENT AND DECLARATION OF FUND ____________________________________________ Amended and Restated February 26, 2009 TABLE OF CONTENTS ARTICLE I The Fund 1.1 Name 5 1.2 Definitions 5...Agreement and Declaration of Fund • August 28th, 2009 • Gabelli Global Deal Fund
PURCHASE AGREEMENT — SEED CAPITALPurchase Agreement • January 26th, 2007 • Gabelli Global Deal Fund
The Gabelli Global Deal Fund (the “Fund”), a Delaware statutory trust, and GAMCO Investors, Inc. (the “Buyer”) hereby agree as follows:
FORM OF ADDENDUM TO TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENTTransfer Agency and Registrar Services Agreement • February 15th, 2018 • GDL Fund
This Addendum (this “Addendum”), is made as of February [ ], 2018, by and between The GDL Fund, a Delaware statutory trust (the “Company”) and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (“AST”).
TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENTTransfer Agency and Registrar Services Agreement • January 26th, 2007 • Gabelli Global Deal Fund • New York
This Transfer Agency and Registrar Services Agreement (the Agreement”), dated as of ..........................., 2007 is between The Gabelli Global Deal Fund “the Company” and American Stock Transfer & Trust Company, a New York corporation (“AST”).
MORROW SODALI January 16, 2018 The GDL Fund One Corporate Center Rye, NY 10580-1422Search and Distribution Agreement • February 15th, 2018 • GDL Fund
This letter will serve as the agreement under which you will retain Morrow Sodali LLC (“Morrow” or “us”) to perform search and distribution services in connection with the Rights Offering by The GDL Fund to its holders of the Fund’s existing Preferred Stock (“the Offer”).
SUBSCRIPTION AND INFORMATION AGENT AGREEMENTSubscription and Information Agent Agreement • December 18th, 2008 • Gabelli Global Deal Fund • Massachusetts
This Subscription and Information Agent Agreement (the "Agreement") is made as of December 18, 2008 between The Gabelli Global Deal Fund (the "Fund"), Computershare, Inc., a Delaware corporation and its fully owned subsidiary Computershare Trust Company, N.A., a national banking (collectively, the “Agent” or individually “Computershare” and the “Trust Company”, respectively). All terms not defined herein shall have the meaning given in the prospectus (the "Prospectus") included in the (Registration Statement on Form N-2, Securities Act File No. 333-149864 filed by the Fund with the Securities and Exchange Commission on December 10, 2008, as amended by any amendment filed with respect thereto (the "Registration Statement").
2,880,363 Shares of Series B Cumulative Puttable and Callable Preferred Stock Issuable Upon Exercise of Rights to Subscribe for such Shares DEALER MANAGER AGREEMENTDealer Manager Agreement • January 25th, 2011 • GDL Fund • New York
Each of The GDL Fund, a Delaware statutory trust (the “Fund”), and Gabelli Funds, LLC, a New York limited liability company (the “Investment Advisor”), hereby confirms the agreement with and appointment of Gabelli & Company Inc. to act as dealer manager (the “Dealer Manager”) in connection with the issuance by the Fund to its preferred shareholders of record (the “Record Date Preferred Stockholders”) at the close of business on the record date set forth in the Prospectus (as defined herein) (the “Record Date”) transferable rights entitling such Record Date Preferred Stockholders to subscribe for up to 2,880,363 shares of Series B Cumulative Puttable and Callable Preferred Stock (the “Preferred Shares”) of the Fund (the “Offer”). Pursuant to the terms of the Offer, the Fund is issuing each Record Date Preferred Stockholder three transferable rights (each a “Right” and, collectively, the “Rights”) for each share of existing preferred stock (the “Existing Preferred Stock”) held by such Re
Exhibit A --------- THE GABELLI GLOBAL DEAL FUND AGREEMENT AND DECLARATION OF FUND November 3, 2006 TABLE OF CONTENTS ----------------- ARTICLE I The Fund 1.1 Name..................................................................5 1.2...Agreement and Declaration of Fund • December 13th, 2006 • Gabelli Global Deal Fund • Delaware
THE GABELLI GLOBAL DEAL FUND AGREEMENT AND DECLARATION OF FUNDAgreement and Declaration of Fund • January 25th, 2011 • GDL Fund • Delaware
AGREEMENT AND DECLARATION OF FUND made as of the ____ day of November, 2006, by the Trustees hereunder, and by the holders of shares of beneficial interest issued hereunder as hereinafter provided.
